In this Issue:
Regulatory Updates
- CFTC Signals Enforcement Focus on Insider Trading in Prediction Markets
- Chair Atkins Advocates Reassessment of Regulation S-K Disclosure Requirements
- Section 16(a) Reporting Obligations Extended to Directors and Officers of FPIs
Insider Trading Enforcement and Litigation
- Investment Banker and Five Others Charged in $41 Million Insider Trading, “Tipping” and Market Manipulation Scheme
- SEC Charges Former Biopharmaceutical Company Director and Four Others with Insider Trading
- SEC Obtains Final Judgment and Industry Bars Against Former Financial Analyst for Insider Trading
- SEC Secures Final Judgment Against Broker-Dealer for Failure to Maintain Information Barriers Protecting Customer MNPI
- Kalshi Accuses MrBeast Employee of Insider Trading
Disclosure Enforcement and Regulatory Updates
- SEC Charges Former Biopharmaceutical Executive with Disclosure Fraud Relating to Clinical Trial Results
- Former Edison Nation CEO and Consultant Face SEC Charges for Misleading Press Release
- SEC Drops Remaining Cybersecurity Charges Against SolarWinds and Its CISO
- SEC Dismisses Civil Enforcement Action Against Former Chief Financial Officer
Accounting Enforcement and Litigation
- SEC Charges Former Near Intelligence CEO and CFO with Round-Trip Accounting Scheme
- SEC Charges Archer-Daniels-Midland Company and Former Executives with Manipulating Business Segment Performance
- SEC Charges Former Ammo Executives with Accounting and Disclosure Fraud
- SDNY Charges Former Mobileum Executives for Fraudulent Revenue Recognition Scheme Ahead of Private Equity Transaction